Senior Compliance Officer, Compliance Management
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The role
Lead the development and ongoing maintenance of a comprehensive compliance program for asset management and private wealth activities as a subject matter expert in regulatory matters.
Draft and update policies, procedures, and the Code of Ethics; manage governance documents including committee charters and minutes.
Design, implement, and deliver ongoing compliance training via LMS and in-person sessions to ensure understanding of roles and regulatory changes.
Monitor the regulatory landscape and perform regulatory change management to update internal policies and controls.
Collaborate with senior management to produce enterprise governance reporting and promote a firm-wide culture of compliance.
Requirements include 5-10+ years in financial services regulatory compliance for a Registered Investment Adviser, with strong communication, analytical, problem-solving, and organizational skills.
Draft and update policies, procedures, and the Code of Ethics; manage governance documents including committee charters and minutes.
Design, implement, and deliver ongoing compliance training via LMS and in-person sessions to ensure understanding of roles and regulatory changes.
Monitor the regulatory landscape and perform regulatory change management to update internal policies and controls.
Collaborate with senior management to produce enterprise governance reporting and promote a firm-wide culture of compliance.
Requirements include 5-10+ years in financial services regulatory compliance for a Registered Investment Adviser, with strong communication, analytical, problem-solving, and organizational skills.
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